098 320 8764
Free Consultation
  • Home
  • Regulatory Advisory

Regulatory Advisory

At Regiis Consultants Ltd, we provide expert regulatory advisory services to help businesses understand and comply with complex regulatory frameworks in the UK. The financial sector is highly regulated, and companies operating under the Financial Conduct Authority (FCA) and other governing bodies must maintain high standards of compliance. Our regulatory advisory services are designed to guide you through these requirements, reduce risks, and support sustainable growth.

Why Regulatory Advisory Matters

Regulatory rules are constantly evolving, making it difficult for businesses to stay up to date. Non-compliance can lead to penalties, reputational harm, and in severe cases, business closure. Effective regulatory advisory helps you anticipate risks, align with industry standards, and maintain operational efficiency while meeting legal obligations.

Our Regulatory Advisory Services

  • Regulatory Gap Analysis: Identifying gaps in your current policies, procedures, and systems compared to regulatory requirements.
  • Risk Management Frameworks: Developing strategies to manage financial, operational, and compliance risks effectively.
  • Policy and Procedure Development: Drafting and updating policies on AML, KYC, governance, and complaints handling.
  • Regulatory Change Management: Helping your business adapt to new rules and requirements as they are introduced.
  • Transaction and Product Advisory: Ensuring new products, services, or transactions meet FCA and industry standards.
  • Board and Senior Management Support: Advising leadership teams on governance responsibilities and regulatory obligations.
  • Ongoing Advisory: Providing continuous guidance to support compliance with regulatory developments.

Benefits of Choosing Regiis Consultants Ltd

  • Industry Expertise: Our consultants have extensive experience in FCA compliance and regulatory advisory.
  • Tailored Solutions: We provide customised strategies to meet the unique needs of your business.
  • Proactive Compliance: Our approach helps you prevent issues rather than react to them.
  • Confidence for Stakeholders: Transparent compliance builds trust with clients, regulators, and investors.
  • Long-Term Support: We provide ongoing partnership to ensure your business adapts to future regulatory changes.

Industries We Support

  • Financial Services
  • Investment Firms
  • FinTech Businesses
  • Insurance Providers
  • Credit and Lending Companies
  • Wealth Management Firms

Why Businesses Trust Us

We have advised financial institutions, fintech innovators, and investment firms across the UK. Our clients rely on us to simplify complex regulations, provide actionable insights, and deliver solutions that support compliance and growth. With more than 25 years of combined experience, Regiis Consultants Ltd is a trusted partner for regulatory advisory.